Producing Records to Your Regulator: Privilege and Privacy

Key Takeaways

• Lawyers and paralegals must produce information even if privileged; the Law Society must keep it confidential (Law Society Act, s. 49.8).
• CCO says patient consent is implied when the patient is the complainant.
• Produce complete, unaltered records and keep a log of what you sent.
• Ask about secure transfer methods for sensitive health or financial information.

Privilege Is Not a Shield From Your Regulator

The Law Society Act requires a person to comply with a requirement to provide information or documents even if they are privileged or confidential (s. 49.8). Other regulators have broad investigative powers too. For example, investigators can enter and inspect pharmacies (DPRA, s. 148) and dealer premises (MVDA, s. 15).

Client Privacy

Health regulators routinely obtain clinical records. The College of Chiropractors of Ontario tells its members that when the patient made the complaint, consent is implied and no additional consent is needed to release the record to the College. If the request concerns someone other than the complainant, ask the regulator to confirm its authority in writing.

Producing Records Well

• Send complete records, including audit trails where relevant.
• Never alter or “tidy up” records before producing them.
• Keep an index and copy of everything you produce.
• Use the regulator’s secure portal or method where available.

Frequently Asked Questions